DFX Intelligence

R•••••• T• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

R•••••• T• S•••••

Advisor at S•••••••• A••••••• L••

JACKSONVILLE, FL | PONTE VEDRA BEACH, FL

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Search this name across graphsid dfx:ria:cfad0f49-47a4-99cb-c5db-60eb12920d80

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2001 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	JACKSONVILLE, FL\|PONTE VEDRA BEACH, FL	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Sep 7, 2021	Mar 31, 2025	no	JACKSONVILLE, FL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F••••••• P••••••• A•• W•••••••• A•••••••	Mar 31, 2021	Sep 7, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:288590:FL:2021-03-31	Mar 31, 2021	Sep 7, 2021	JACKSONVILLE, FL	Firm change

Relationships

Registered with (5)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Sep 7, 2021 to Mar 31, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Aug 16, 2013 to Mar 31, 2021factForm ADV
→ E••••••• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cfad0f49-47a4-99cb-c5db-60eb12920d80
First observed: Feb 14, 2001
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.